Broker-Dealers

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How Safe Are Your Clients’ Assets?

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Cybercrime is a growing threat in the advisor industry.

The Next Rung

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Faced with higher costs and tepid recruiting, broker-dealers want to grow organically—and smarter.

What Makes Orion So Special?

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It should be able to deliver the tech services advisors need in the years ahead.

Advisor Network Brings $2B To LPL's RIA Platform

by FA Staff

LPL Financial announced today that the Center for Wealth Planning (CWP), a nationwide network of independent advisors, has joined its RIA custodial platform.

Hy Cohen, Former Royal Alliance CEO, Dies At 68

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Hy Cohen, who led the brokerage firm from 1994 to 2001, passed away on March 20 after a lengthy illness.

Royal Alliance Acquires Affiliated Advisors Group

by FA Staff

Affiliated Advisors Group is a full service broker-dealer with 33 advisors that manages approximately $600 million in assets.

Google Hires Morgan Stanley Exec As CFO

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Google Inc. said it hired Ruth Porat, Morgan Stanley’s chief financial officer, to succeed Patrick Pichette as its new CFO in May.

SEC’s Plan On Broker Rules Has Both Sides Cheering, Jockeying

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When SEC Chair Mary Jo White backed tighter rules for brokers last week, her words were greeted with cheers, oddly, by both supporters and opponents of the controversial plan.

Foothill Securities Adds $1 Billion Firm To Platform

by FA Staff

San Ramon, Calif.-based California Financial Advisors has joined the advisor-owned broker-dealer’s platform.

Eyeing Retirement, 67-Year-Old Broker Leaves Morgan Stanley For Independent

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The broker is one of a growing number finding they can make more money, save on taxes and choose their successor if they take their clients to an independent firm before they retire.

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